C B. Certified Banker. Professional Banking Qualification Programmes for Attaining

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1 Professional Banking Qualification s for Attaining Certified Banker Postgraduate Diploma in Credit for Certified Banker QF Level 6 (QR registration no. 16/001005/L6) # * Postgraduate Diploma in Operations for Certified Banker QF Level 6 (QR registration no. 16/001007/L6) # * C B Postgraduate Diploma in Treasury for Certified Banker QF Level 6 (QR registration no. 16/001006/L6) # * Certified Banker (Stage II) Professional Diploma for Certified Banker QF Level 5 (QR registration no. 16/001004/L5) # * Certified Banker (Stage I) Advanced Diploma for Certified Banker QF Level 4 (QR registration no. 16/001001/L4) # Scan our QR code to visit our website #The qualification is accredited by the Hong Kong Council for Accreditation of Academic and Vocational Qualifications (HKCAAVQ), with validity from 1 December 2016 to 30 November *The Professional and Postgraduate Diploma Programs for Certified Banker are Specification of Competency Standards (SCS) based programmes.

2 Pursuing a Professional Banking Qualification For those wishing to pursue a successful banking career in Hong Kong, attaining HKIB accredited professional qualifications is a sign of commitment to reaching the highest standards. With the banking industry increasing in complexity and evolving at a fast rate, individuals with a badge of excellence will stand out. The depth and ongoing development of the HKIB qualifications ensures clear credentials for high achievers. Recognition of HKIB Professional Banking Qualifications The professional qualifications offered by HKIB have received solid market recognition. Enhanced Competency Framework (ECF) Subjects Integrated The programmes of Certified Banker cover both generic and specialist topics, and integrate subjects from the Hong Kong Monetary Authority s Enhanced Competency Framework (ECF). It is an enhancement of the Associate of The Hong Kong Institute of Bankers (AHKIB) qualification, which was launched over two decades ago. Qualifications Framework by HKCAAVQ Certified Banker contains three programmes in progressive QF levels (i.e. Advanced Diploma, Professional Diploma and Postgraduate Diploma). Candidates should begin with the Advanced Diploma Program for Certified Banker (QF Level4). All three programmes have been quality assured by the Hong Kong Council for Accreditation of Academic and Vocational Qualification (HKCAAVQ) and are recognized under the Qualifications Framework (QF). Postgraduate Diploma for Certified Banker is the only banking qualification accredited at QF Level 6 in Hong Kong, which is benchmark to a Master s Degree. The Professional and Postgraduate Diploma Programs for Certified Banker are Specification of Competency Standards (SCS) based programmes. The learning content is encompassing all relevant Units of Competency (UoCs) drawn from the SCS of banking industry. Becoming a Certified Banker (CB) Obtaining Certified Banker (CB) requires 3 CB Stages to be completed progressively. For Stage I, candidates are required to complete 1 Core Subject and 2 Elective Subjects. In CB (Stage II) candidates choose 2 Elective Subjects and for the final Stage they are required to complete 2 subjects from one of 3 specialised streams and a case study examination. s and Examinations: Before proceeding to the examinations of the required subjects in each stage, candidates must first complete the respective subject training programmes. Upon completion of the required training programmes and examinations, candidates will be awarded a diploma. Upon successful election, candidates are entitled to use respective CB designations recognising their achievement at each stage, and proceed to the next stage. Details of training programmes and examinations are available in CB Handbook listed in HKIB website. Working Experience Requirement: Participants will be awarded the professional banking qualification designation of Certified Banker (Stage I) after accumulating 1 year of relevant working experience in the banking and financial field. Certified Banker (Stage II) after accumulating 2 years of relevant working experience in the banking and financial field. Certified Banker after accumulating 3 years of relevant working experience in the banking and financial field. Continuing Professional Development: All CB holders are required to comply with HKIB Continuing Professional Development (CPD) Scheme. Each individual must fulfill 5 CPD hours (CB (Stage I)) / 15 CPD hours (CB (stage II)) and CB) every calendar year (1 January to 31 December). Suitable For The CB is suitable for current banking and financial practitioners as well as post-secondary full time students who wish to build a stronger professional foundation in order to deepen their banking industry knowledge. Entry Requirements Candidates must be an HKIB Individual Member and hold: A Bachelor s Degree awarded by a recongised university or equivalent; OR An Associate Degree / Higher Diploma in Banking and Finance area; OR Relevant professional qualifications; OR Mature applicant (aged 21 or above) with either At least 5 years of banking and finance working experience; OR 2 years of banking and finance working experience with recommendation of employer 1 ; OR Registered HKIB student members 2 or post-secondary full time students Note 1: The recommended staff member should have the knowledge and skills to complete the training activities and achieve the intended learning outcomes. The employer should make the recommendation based on the competency of the potential learner. For example, in addition to 2 years of banking and finance experience, the recommended staff member also possesses other relevant traits and skills such as exhibiting a strong work ethic or transferable skills that the employer finds desirable. The recommendation may also include comments on the career advancement prospects of the staff member. Note 2: Student Members such as university undergraduates can enroll in the Advanced Diploma for Certified Banker before they graduate. Upon graduation, Student Members can continue to pursue the Professional Diploma for CB, and also attain the respective CB designation after fulfilling the requirement on working experience. Medium of Classroom training with combination of Cantonese and English. All the examination questions are set in English only. Please visit HKIB website for CB Handbook 1

3 Application Please visit the HKIB website for application details of membership, training programme and examination. Contact Us Address : 3/F Guangdong Investment Tower, 148 Connaught Road Central, Hong Kong Fax : (852) Telephone : (852) hkib@hkib.org CB Certified Banker With 3 years banking or finance related working experience CB SPECIALIST STREAM Postgraduate Diploma in Credit / Treasury / Operations for Certified Banker <QF level 6> Complete TWO subjects from any ONE of the specialist streams and attain a pass in the case study examination of the respective specialist stream Credit Treasury Operations CB (Stage II) ELECTIVE Bank Lending Credit Risk Bank Asset and Liability Treasury Markets and Operations Banking Law and Practice Operational Risk Professional Diploma for Certified Banker <QF level 5> Complete any TWO Elective Subjects Corporate Finance Services Finance of International Trade Business and People of Information Systems in Banking CB (Stage I) CORE + ELECTIVE Advanced Diploma for Certified Banker <QF level 4> Complete ONE Core Subject and TWO Elective Subjects Core Subject Banking Services and Professional Ethics Elective Subjects Fundamentals of Accounting and Law in Banking Financial Systems and Risk ECF(Core level): Anti-Money Laundering and Counter-Financing of Terrorism [AML/CFT] 2

4 Content CB (Stage I) With 1 year banking or finance related working experience Advanced Diploma for Certified Banker <QF Level 4> Core Subject - Banking Services and Professional Ethics Upon completion of this subject, candidates should be able to: Evaluate the implications of the regulatory framework which governs the operations of authorised financial institutions in Hong Kong ; Interpret and apply the banks guidelines which are applicable to the different aspects of banking services and operations in the banking services industry; Explain the definitions of ethics in business and how the code of ethics is related to the day-to-day work of the banking professionals; Identify the requirements of professional ethical roles in the banking services industry. Part I - Banking Services & Operations An Overview of Banking Services Risk in Banking Services Retail and Corporate Banking Services Treasury and Banking Operations Part II - Professional Ethics Introduction to Ethics and Social Responsibilities Ethics & the Corporation and the Individuals Ethical Dilemmas & Corporate Governance Business Ethics & Internal Control Elective Subject 1 - Financial Systems and Risk Upon completion of this subject, candidates should be able to: Distinguish the key differences in financial systems in major financial markets Articulate the different roles performed by central banks and financial institutions and the risk issues faced by the banking industry nowadays Understand the risk management process in the banking sector and relate the process in their day-to-day work Explain the rationale for financial regulation and the compliance requirements in the financial system Part I - Financial Systems and Markets Financial Systems Financial Markets Financial Institutions Part II - Risk in Banking Introduction & Process of Managing Risk Requirement and Structuring of Risk 3

5 Content CB (Stage I) With 1 year banking or finance related working experience Advanced Diploma for Certified Banker <QF Level 4> Elective Subject 2 - Fundamentals of Accounting and Law in Banking Upon completion of this subject, participants should be able to: Select the right course of actions based on understanding on the wide range of legal principles and concepts applicable to banking practices; Handle different transactions of negotiable instruments independently based on understanding of the laws and documentation related to these ; Review the regulatory framework and identify relevant regulations and policy applicable to an individual unit or segment in the banking industry; Employ the concepts and accounting principles in financial reporting which relate to different areas of work; Explain concepts in corporate financial accounting which are relevant to corporate banking and investments; Employ the wide range of key accounting concepts and principles essential to the world of banking in an appropriate manner. Part I - Law and Regulations in Banking Basic Law Principles Negotiable Instruments Regulatory Framework in Banking and Financial Markets Part II - Accounting Principles in Banking Financial Reporting Interpretation of Financial Results Valuation of a firm Accounting for Planning & Budgeting Capital Expenditure Analysis & Performance Measures Elective Subject 3 ECF (Core Level): Anti-Money Laundering and Counter-Financing of Terrorism [AML/CFT] Upon completion of this subject, participants should be able to: Explain what money laundering/terrorist financing (ML/TF) is and how to relate it to the banking and finance sector and to their work of Relevant Practitioners in Hong Kong Specify the importance of ML/TF related to Hong Kong banking and finance sector Describe the anti-money laundering and counter-terrorist financing (AML/CFT) International Standards and related Hong Kong legal and regulatory framework Identify key elements of AML/CFT risk management framework in system design and assess the related risks Assess the transactions pattern and apply customer due diligence requirements for identifying suspicious transactions for reporting Apply and assess the ongoing AML/ CFT monitoring system and investigation process Fighting ML/FT why it is important and what is the legal / regulatory framework Managing the risk of ML/TF in banks in Hong Kong How does ML/TF take place How can banks combat ML/TF through establishing an AML/CFT risk management framework Knowing your customer Customer due diligence Monitoring your customer by screening, monitoring and reporting suspicious transaction 4

6 Content CB (Stage II) With 2 years banking or finance related working experience Professional Diploma for Certified Banker <QF Level 5> Elective Subject 1 - Corporate Finance Services Upon completion of this subject, candidates should be able to: Plan and design an appropriate package of credit solutions and capital-raising strategies to meet the domestic or international financing needs of customers in different markets; Identify and assess the risks involved in corporate financing transactions to both the borrower and the financier; Consolidate the risk issues in corporate finance and construct strategies to deal with the issues for discussion with peers of all levels. Sources and Types of Finance for Corporations - Corporate Lending - Debt Financing - Equity Financing - Financing special transactions or projects Sources and Types of Risks for Financial in Banks - Cross-Border Risks - Corporate Treasury - Credit Risk in Bank Lending Elective Subject 2 - Finance of International Trade On completion of this subject, candidates should be able to: Demonstrate specialised knowledge in international trade terms and internationally accepted codes of practice which serve as a base for communications with international trade finance customers, peers and internal operation units within banks; Analyse critically the financing needs of trade borrowers and design tailored-made financing solutions to meet clients needs; Diagnose the key risk issues in trade financing transactions and mitigate the risks involved. Introduction to International Trade Finance - What is International Trade Finance? International Trading Practice - Methods of Payment in International Trade - International Payment, Settlement and Clearing Systems - Commercial and Shipping Terms Used in International Trade - Documents Used in International Trade Documentary Collections & Documentary Credits - Documentary Collections - Documentary Credits Trade Finance Services and Trade Related Risk - Import and Export Finance - Trade Promotion and Supporting Services - Trade Fraud - Risk and Risk in International Trade 5

7 Content CB (Stage II) With 2 years banking or finance related working experience Professional Diploma for Certified Banker <QF Level 5> Elective Subject 3 - of Information Systems in Banking On completion of this subject, participants should be able to: Evaluate the changing roles and functions of information systems in a banking organisation; Integrate the wide range of key principles of information security for formulating suitable strategies; Assess market trends of information technology development to determine resources deployed to supporting its services; Evaluate the benefits and feasibility of applying information technology in different managerial aspects to improve the effectiveness and efficiency of financial institutions Information Systems in the Organisation - Importance of Information Systems - Information Systems in various functional areas Information Security - Importance of Information Security - Elements of Information Security of Information Systems - General IT Processing and Topology Concepts - Data Resource - IT Service - System Development Lifecycle & Quality - Change Elective Subject 4 - Business and People On completion of this subject, candidates should be able to: Compare and contrast the different components of the business planning process; Evaluate how the process is critically applied in formulating business plans and corporate strategies; Analyse the personal attributes of a leader and identify the prerequisites for the development of leadership; Manage team management issues by applying the most appropriate approach after appraising the particular situation. Business Organisation and - The management process - Managing and developing human resources - Communication - Implementing and managing change - Strategic Marketing Leadership Team 6

8 Content CB With 3 years banking or finance related working experience Postgraduate Diploma in Credit for Certified Banker <QF Level 6> Specialist Subject 1 - Bank Lending On completion of this subject, candidates should be able to: Evaluate critically the major differences of lending to personal customers and to business borrowers by utilising professional knowledge in cross disciplines; Conduct in-depth credit analysis by utilising financial information with discretion and undertaking non-financial research to assess the customer s creditworthiness; Formulate a credible business proposition with an appropriate credit facility after synthesising different research regarding a customer s business needs; Compare and contrast different methods of credit monitoring and devise a management process to supervise problem loan monitoring. Personal & Corporate Lending - Advance to Personal Customers - Interpretation and Analysis of Financial Statements Corporate Credit - Credit Assessment - Terms of a Loan Facility - Understanding Business Needs - Credit Administration and Dealing with Problem Loans Specialist Subject 2 - Credit Risk On completion of this subject, candidates should be able to: Evaluate critically the organisation of credit risk management; Review and communicate the current global capital requirements on credit risks; Consolidate the wide range of theories in credit portfolio modeling and evaluate their effectiveness in measuring credit risk; Review the risk factor of credit derivative products and evaluate the bank s capital allocation strategy under the Basel capital requirement. Organisation of Credit Risk in Banks - Credit Risk in Banks Capital Requirements on Credit Risk under Basel Accord - Standardised Approach - Internal-ratings-based Approach (IRB) Credit Risk and Portfolio Models - Credit Risk Models - Credit Portfolio Models Credit Derivatives and Structured Credit Products - Types of Products 7

9 Content CB With 3 years banking or finance related working experience Postgraduate Diploma in Operations for Certified Banker <QF Level 6> Specialist Subject 1 - Banking Law and Practice On completion of this subject, candidates should be able to: Critically assess the implications of the current law and practice governing banker s roles in bankercustomer contractual and non-contractual relationships; Analyse critically the bank s duty in different types of accounts and account conduct in banking operations under the framework of bankercustomer relationship; Evaluate critically the law related to types of security which are commonly accepted by the banks; Communicate and assess the consequences of undertaking bankruptcy proceedings to the bank and customer in relation to a bank s bad debt collection procedures. Banker-Customer Relationship and Account Opening - Contractual Relationship under Code of Banking Practice - The Opening and the Conduct of Accounts Banking Operations - Bills of Exchange and Other Banking Operations Law related to Security - Guarantee - Mortgage of Land - Other Security Interests Insolvency - Bankruptcy - Winding-up Specialist Subject 2 - Operational Risk On completion of this subject, candidates should be able to: Critically evaluate the performance of a wide range of functional issues from a risk management perspective; Formulate a framework related to risk management & quality control of internal operations; Manage unfamiliar problems, operational problems, and exercise the appropriate judgment in matters relating to complex operational functions covering service, product and process management; Propose justified solutions and recommendations on operational risk management based on analysis and synthesis of relevant information Operational Risk in Banking Industry - Overview and definition of Operational Risk - Operational risk management framework - Case studies Process of Operational Risk - Methodologies - Risk identification - Risk measurement and assessment - Risk control and mitigation - Risk reporting - Other related techniques Regulatory Framework and Governance Structure - Regulatory requirements - Risk governance 8

10 Content CB With 3 years banking or finance related working experience Postgraduate Diploma in Treasury for Certified Banker <QF Level 6> Specialist Subject 1 - Bank Asset and Liability On completion of this subject, candidates should be able to: Identify and critically evaluate how market factors impact the profitability of banks; Compare and select different approaches of bank asset and liability management from ALCO s perspectives and evaluate the appropriateness of particular strategies in fulfilling the bank s stated objectives; Demonstrate how market and liquidity risks overlap to exert pressure on banks capital and identify strategic considerations in capital planning; Identify how interest rate risks threaten banks financial stability and evaluate critically the effectiveness of technical strategies in providing immunisation against such risks. Asset and Liability - Managing Bank Profitability - Asset and Liability Committee (ALCO) - Managing Bank Assets and Liabilities - Banking Regulations Managing Liquidity Risk and Interest Rate Risk - Capital and Liquidity - Managing Interest Rate Risk - Long Term Market Risk Specialist Subject 2 - Treasury Markets and Operations On completion of this subject, candidates should be able to: Undertake critical analysis on the roles and functions of treasury operations in banks and demonstrate how the operations provide checkand-balance internal controls; Deal with the day-to-day management of a wide range of treasury activities by market segments to fulfill the asset and liability management objectives of the bank; Identify the types and assess the magnitude of risks and decide on the deployment of resources and tools to implement effective risk measures and control; Evaluate the effectiveness of risk control in current market practice as part of treasury operation procedures. Treasury - Treasury of Financial Institutions Foreign Exchange, Money Market & Derivatives - Foreign Exchange Market - Money and Capital Markets - Bond Market - Derivatives Treasury Operation - Treasury Operations - Market Risk Measures - Payment and settlement systems Case Studies 9

11 Certified Bankers (CB) 2017 and Examination Schedule 3 rd Intake Subject Application Type Learning Mode Code Date (2017) Time Application Deadline Fee (HK$) 16, 30 Sep; 7, 14 & 21 Oct 2017 (Sat) 10:00 13:00 (21 hours) HA-S11-PP Nov 2017 (Wed) Revision 4,200 Student Discount 1 Banking Services and Professional Ethics (12 hours) HA-S11-TP Nov 2017 (Sat) Mock Assessment 14 & 21 Oct 2017 (Sat) 1 Nov 2017 (Wed) Revision 10:00 13:00 14:00 17:00 8 Sep ,400 4 Nov 2017 (Sat) Mock Assessment 10:00 13:00 Examination - HE-A Nov :30 20 Oct Student Discount 1 19, 26 Sep; 3, 10, 24 Oct 2017 (Tue) (21 hours) HA-S12-PP Oct 2017 (Tue) Revision 4,200 Student Discount 1 CB (Stage I) Financial Systems and Risk (12 hours) HA-S12-TP Nov 2017 (Tue) Mock Assessment 28 Sep & 12 Oct 2017 (Thu) 31 Oct 2017 (Tue) Revision 7 Nov 2017 (Tue) Mock Assessment 8 Sep ,400 Examination - HE-A Dec :30 20 Oct Student Discount 1 25 Sep; 9, 16, 23 & 30 Oct 2017 (21 hours) HA-S13-PP Nov 2017 Revision 4,200 Student Discount 1 Fundamentals of Accounting and Law in Banking (12 hours) HA-S13-TP Nov 2017 Mock Assessment 13 & 27 Oct Nov 2017 Revision 8 Sep , Nov 2017 Mock Assessment Examination - HE-A Nov 2017 (Wed) 21:30 20 Oct Student Discount 1 ECF (Core Level): Anti-Money Laundering and Counter- Financing of Terrorism [AML/CFT] 3 Examination Please refer to Enhanced Competency Framework (ECF) and Examination for details. V

12 Subject Application Type Learning Mode Code Date (2017) Time Application Deadline Fee (HK$) Business and People HA-S21-PP HA-S21-TP Sep;12, 19, 26 Oct; 2, 9, 16, 23, 30 Nov & 7 Dec 2017 (Thu) 30 Sep; 14 & 21 Oct 2017 (Sat) 10:00 13:00 7,500 Early bird 2 2,250 Examination - HE-A Jan 2018 (Wed) 19:00-24 Nov 2017 Corporate Financial Services HA-S22-PP HA-S22-TP Sep; 3, 10, 17, 24, 31 Oct; 7, 16, 21 & 28 Nov 2017 (Tue & Thu) 23, 30 Sep & 7 Oct 2017 (Sat) 14:00 17:00 7,500 Early bird 2 2,250 CB (Stage II) Finance of International Trade Examination - HE-A Jan 2018 (Thu) HA-S23-PP HA-S23-TP Sep; 4, 11, 18, 25 Oct, 1, 8, 15, 22 & 29 Nov 2017 (Wed) 23, 30 Oct & 6 Nov Nov ,500 Early bird 2 2,250 Examination - HE-A Dec 2017 (Thu) 24 Nov 2017 of Information Systems in Banking HA-S24-PP HA-S24-TP Sep; 9, 16, 23, 30 Oct; 6, 13, 20, 27 Nov & 4 Dec Oct; 3 & 10 Nov 7,500 Early bird 2 2,250 Examination - HE-A Dec Nov 2017 Bank Lending 3,5 HA-S31-PP HA-S31-TP Sep; 4, 11, 18, 25 Oct, 1, 8, 15, 22 & 29 Nov 2017 (Wed) 18, 25 Oct & 1 Nov 2017 (Wed) 9,300 Early bird 2 3,000 Examination - HE-A Jan Dec 2017 CB Credit Risk 3,5 HA-S32-PP HA-S32-TP Sep; 3, 10, 17, 24, 31 Oct; 7, 14, 21 & 28 Nov 2017 (Tue) 27 Oct; 3 & 10 Nov ,300 Early bird 2 3,000 Examination HE-A Jan :00-8 Dec 2017 Bank Asset and Liability 3 HA-S33-PP HA-S33-TP Sep;12, 19, 26 Oct; 2, 9, 16, 23, 30 Nov & 7 Dec 2017 (Thu) 9, 23 & 30 Oct ,000 Early bird 2 2,700 Examination - HE-A Jan 2018 (Tue) 8 Dec 2017 V

13 Subject Application Type Learning Mode Code Date (2017) Time Application Deadline Fee # (HK$) Treasury 3 HA-S34-PP Sep; 3, 10, 17, 24, 31 Oct; 7, 14, 21 & 28 Nov 2017 (Tue) 9,000 Early bird 2 Markets and Operation HA-S34-TP ,13 & 20 Oct ,700 Examination - HE-A Jan 2018 (Thu) 8 Dec 2017 CB Banking Law and Practice 3,5 HA-S35-PP HA-S35-TP Sep; 9, 16, 23, 30 Oct; 6, 13, 20, 27 Nov & 4 Dec , 26 Oct & 2 Nov 2017 (Thu) 9,300 Early bird 2 3,000 Examination - HE-A Jan 2018 (Wed) 8 Dec 2017 Operational Risk 3,5 HA-S36-PP HA-S36-TP Sep; 4, 11, 18, 25 Oct, 1, 8, 15, 22 & 29 Nov 2017 (Wed) 25 Oct; 1 & 7 Nov 2017 (Wed & Tue) 9,300 Early bird 2 3,000 Examination - HE-A Jan Dec 2017 Details: Introductory Session : CB Introductory Session will be held on (Wed) at 18:45-19:15. (Please collect textbook at the Session) Class Language: : Cantonese (supplemented with English materials) Venue : 3/F Guangdong Investment Tower, 148 Connaught Road Central, HK (Sheung Wan MTR Station Exit C) (unless other venue specify in training class confirmation / examination attendance notice) Enrollment : By fax at or Submit to our institute in person Note: 1. HKIB student members can enjoy 25% off Fee Discount and 50% off Examination Fee Discount on all subjects under CB (Stage I). 2. Enjoy 30% off Early Bird Discount for enrolling before 1 Sep The programme has been included in the list of reimbursable courses for WAM pilot programme. For WAM pilot programme applicants, 80% of the course fee (examination fee excluded) will be reimbursed upon meeting the 80% attendance requirement. For more details, please visit: 4. For application to tutorial programme, at least 2 years of relevant work experience / senior officer grade or above is highly recommended. 5. Textbooks are included in Bank Lending, Credit Risk, Banking Law and Practice and Operational Risk 6. HKIB reserves the right to cancel, modify, and/or postpone the programme and/or examination. 7. CB Case Study Examination: Examination date of Case Study Examination is to be confirmed. Candidates who fulfill the examination prerequisite (i.e. completion of the two specialist subjects in the selected stream) will receive notification for examination application. For Enquiries: Address: 3/F Guangdong Investment Tower, 148 Connaught Road Central, HK (Sheung Wan MTR Station Exit C) Tel: (852) hkib@hkib.org Fax: (852) V

14 Professional Banking Qualifications: Certified Banker (CB) Certified Banker (CB) (Stage II) Certified Banker (CB) (Stage I) Certified Financial Planner (CFMP) Enhanced Competency Framework (ECF) Application Form (HK) Membership / / Examination Please read the Important Notes for Application on page 1 BEFORE completing this form

15 IMPORTANT NOTES FOR APPLICATION This Application Form is designed to facilitate applicants to apply for HKIB membership, programme and examination by submitting one single form. Applicants may choose to complete the respective sections as deemed appropriate. A. Membership 1. Applicants shall settle a one-off first registration fee and the subscription fee upon joining HKIB. 2. Individual Membership shall run from 1 January to 31 December in each calendar year. Members who fail to pay their subscription fees by 31 January of each calendar year will be treated as default members and the reinstatement policy will therefore be applied. 3. It is compulsory for all individuals to maintain a valid membership status with HKIB if the applicants want to be elected and maintain HKIB professional designations (e.g. CB, CB (Stage II), CB (Stage I), CFMP, AAMLP and CAMLP). For all professional designation holders, they have to maintain HKIB professional membership status and fulfill annual CPD requirement. 4. All HKIB members are eligible to apply for HKIB professional qualification programmes and/or examinations. However, non-members can still enroll for ECF programme and/or examination only if they are not applying for any professional designation. B. 1. Payment must be settled before course commencement. 2. Late programme enrolment will be accepted up to 7 days after the stipulated application deadline. A late entry fee of HK$200 (in addition to the programme fee) will apply. 3. Participants who have settled payments will receive course confirmation by 7 days prior to the course commencement date. 4. Participants are obligated to inform the Institute if you do not receive the confirmation 3 days before the course begins. 5. Places will be allocated on first-come-first-serve basis. 6. We reserve the right to reject an enrolment at any time. 7. Participants can apply for the Government funding. Please visit for the list of reimbursable pilot programmes under Asset and Wealth (WAM) sector and also the relevant details. Please note that only programme fee can be applied for funding and examination fee is excluded. C. Examination 1. Candidates who are taking the current training programme can choose to sit for the current examination or any subsequent ones. They can choose to sit for subsequent examinations but if the training programme has been changed or updated, they may be required to re-take the tuition programme in order to be eligible for taking the examination for the subject. 2. Entries must comply with the regulations and timetable published in the handbook or on the HKIB website. 3. Late examination enrolment will be accepted up to 14 days after the stipulated application deadline. A late entry fee of HK$200 (in addition to the examination fee) will apply. 4. Under no circumstances will change of subject entry be allowed. 5. Under no circumstances will the examination fees be refunded or transferred. 6. Examination Attendance Notices will be sent to candidates via about 2 weeks before the examinations. You are obligated to inform the Institute if you do not receive Attendance Notice 1 week before the examinations. 7. Candidates are required to print a new copy of the Examination Attendance Notices themselves on a plain A4 paper before attending each examination session. Candidates MUST produce the Examination Attendance Notices in each examination session, along with valid identification document (HKID/ passport) specified on the application form. Photocopy will not be accepted. 8. Results (a) Issue of results: Candidates will be notified of their results by post and only with written notice. Results will not be revealed over telephone, fax or any other electronic means, except through the HKIB e-result channel. Results will be released within 2-4 weeks from the examination date for MC-type examination, and 6-8 weeks from the examination date of last subject in each examination diet for other type of examinations. (b) Withholding of results: Results will be withheld from candidates who have not paid in full any monies due or payable to the Institute, including but not limited to examination entry fees. D. Application Period and Method 1. Application will be accepted year-round. 2. Please refer to the and Examination Schedule for enrolment deadline. 3. HKIB reserves the right to postpone, modify and/or cancel the scheduled training programmes and/or examinations. 4. All fees paid are non-refundable and non-transferable. 5. Applicants can complete the Application Form and then submit to HKIB by hand, by mail, by or by fax. Contact Us Address : 3/F Guangdong Investment Tower, 148 Connaught Road Central, Hong Kong Fax : (852) Telephone : (852) application@hkib.org V

16 Section A Personal Particulars Please complete all relevant parts in BLOCK LETTERS and with BLACK PEN. For NEW HKIB member, please complete all the required information under Part 1 and 2. For current HKIB member, you are required to complete Part 1 only if there is no update of your personal details in Part 2. Part 1: Personal Details <<applicable to new and existing members>> Title: Mr. Miss Ms. Dr. Name in English: (as shown on identity document) HKIB Membership: Yes (Please specify the Membership No.) No Name in Chinese: (as shown on identity document) (Surname) (Given Name) HKID / Passport Number* (please delete where inappropriate): Mobile Phone No. : Primary Address 1 : Part 2: Personal Details <<applicable to new and existing members who have to update their personal information>> Correspondence Address: Secondary Address (if any): Name of Employer: Office Telephone No.: Position: Department: Office Address: Division (for customized service): Asset Commercial / Corporate Banking Compliance & Risk General Investment Banking Operations & Support Private Banking Retail Banking Treasury Others: Industry (for customized service): Accounting / Audit Banking Commercial / Industrial Education Government / Regulator Insurance Legal Practice Securities and other financial institutions Others: Highest Academic Qualification Obtained: University / Tertiary Institution: Year of Completion: Other Professional Qualifications: Professional Bodies: Note: : 1 All HKIB Confirmation, Examination Attendance and related communication will be sent via by using the Primary Address. For Official Use DATE ACK LOG REF BATCH CM MO VER 2

17 Section B Entry Qualification Assessment I confirm I have met the minimum entry requirement for the programme(s) or examination(s) as stated in the respective Qualifications Handbook: (please check qualification(s) attained) A Bachelor s Degree awarded by a recognized university or equivalent; OR An Associate Degree / Higher Diploma in Banking and Finance area; OR Relevant professional qualifications; OR Mature Student (aged 21 or above) with either At least 5 years of banking and finance working experience; OR At least 2 years of banking and finance experience with recommendation from employer 1 ; OR At least 2 years of banking and finance experience (for CFMP only); OR Registered HKIB student members or post-secondary full time students Others, please specify: Note 1: The recommended staff member should have the knowledge and skills to complete the training activities and achieve the intended learning outcomes. The employer should make the recommendation based on the competency of the potential learner. For example, in addition to 2 years of banking and finance experience, the recommended staff member also possesses other relevant traits and skills such as exhibiting a strong work ethic or transferable skills that the employer finds desirable. The recommendation may also include comments on the career advancement prospects of the staff member. ATTENTION Please attach the relevant copies of education / employment document (verifying job grade and year of experience) and submit together with this application form. HKIB reserves the right to request for certified true copy. Section C Membership Application I would like to apply for HKIB Individual Membership and understand that the annual membership period runs from 1 January to 31 December. Please check applicable box: Membership Type (for Hong Kong) Annual Subscription (Jan - Dec) Semi-Subscription (Jul - Dec) Professional HK$1,500 HK$750 Ordinary HK$1,000 HK$500 Student HK$200 HK$100 One-off First Registration Fee HK$200 Membership Application Total: HK$ HK$ Section D Application # Name CB CFMP ECF CB CFMP ECF CB CFMP ECF Subject Code Mode Fee (HK$) Late Entry Fee (HK$200) # Please refer to the and Examination Schedule for details. Application Total HK$ Do you intend to apply for the WAM Financial Incentive Scheme? Yes No (Please visit for details of WAM Financial Incentive Scheme) 3

18 Section E Examination Application # For all qualifications, completion of training programme is required before applying for examination. Name CB CFMP ECF CB CFMP ECF CB CFMP ECF Subject Examination Code Mode Fee (HK$) First Attempt First Attempt First Attempt Re-sit Re-sit Re-sit Late Entry Fee (HK$200) # Please refer to the and Examination Schedule for details. Examination Application Total HK$ Section F Payment Methods Cash (Payable only in person at HKIB counter). A cheque / e-cheque made payable to The Hong Kong Institute of Bankers (cheque no. ). For e-cheque, please state the 1) programme code and/or 2) examination code and/or 3) membership application under remarks and together with the completed enrolment form to application@hkib.org. Credit card: Visa Master Card No: Expiry Date (MM/YY) / Name of Cardholder : Signature: Total Amount Membership Application: Application: Examination Application: HK$ HK$ HK$ (as on credit card) Total: HK$ Section G Information Source From which of the following sources do you know about our Professional Banking Qualification? HKIB s website HR/ Department Homepage of Education and Manpower Bureau Newspaper/Magazine Colleagues/Classmates/Friends Information Session/Exhibition Labour Department Others, please specify 4

19 Section H Statement on Collection of Personal Data 1. It is necessary for applicants to supply their personal data and to provide all the information requested in the application documents, as otherwise HKIB may be unable to process and consider their applications. 2. The personal data provided in this form will be used for processing your application for membership, programme and examination, statistical and marketing (including direct marketing) purposes. The data will be solely handled by HKIB staff but may be transferred to an authorised third party providing services to HKIB in relation to the above purposes and prescribed purposes as allowed by the law from time to time. 3. When the processing and consideration of all the applications for a particular programme have been completed: (a) the application papers of unsuccessful candidates will be destroyed (if you have indicated to receive our promotional materials in Paragraph 6 then your contact details and related papers would be retained for such purposes); and (b) the application papers of successful candidates will serve as part of the applicant s official student records and will be handled by HKIB staff or by staff of an authorised third party providing services to HKIB in relation to the stated purposes. In all such circumstances, please be assured that any personal information you supply will be kept strictly confidential. 4. Applicants understand that they have the right to check whether HKIB holds personal data about me and that, if so, they have a right of access to their personal data. They can request HKIB to correct any inaccurate personal data and if they need to obtain a copy of their personal data or have it corrected, they can write to the HKIB. They understand that HKIB is permitted by law to charge a reasonable fee for the processing of any data access request. 5. Personal data provided on the application form will be used by HKIB for the purpose relating to application and admission. For details of the Personal Data Collection Statement, please refer to the website: Please tick if you DO NOT WISH to receive our latest updates and promotional materials through the communication channels as stated above, including discounts and offers from time to time. Section I Acknowledgement and Declaration I declare that the information contained in my application is truthful and complete, and will be used for the purpose of administration and communication by The Hong Kong Institute of Bankers (HKIB). I agree to notify HKIB of any material changes to my responses to any of the questions in this application, including my contact details. I understand and agree that HKIB may investigate the statements I have made with respect to this application, and that I may be subject to disciplinary actions for any misrepresentation (whether fraudulent and otherwise) in this application. I understand that the fees paid are non-refundable and non-transferable. I understand and agree to comply with all conditions, requirements, policies and procedures established by HKIB as may be amended from time to time. For Membership Application: I understand that as a member of the HKIB, I shall be bound by the prevailing rules and regulations of the Institute. For Enrolment: I declare that I have fulfilled the entry requirement of the programme. For Examination Application: I confirm that I have read the relevant handbook, examination-related information published in the HKIB, and/or Examination Guidance Notes, and fully understand and accept the regulations. By my signature below, I am submitting my application and have fully read, understood and accepted the terms and conditions stated above. Signature Date Section J Document Checklist for Enrolment Please check the following items before submitting to the Institute and keep a copy of all relevant documents for your own record. Membership Application Application Examination Application Completed all applicable sections of this form Signed and dated the acknowledgement and declaration Enclosed a copy of your identity card / passport Relevant document(s) for entry qualification assessment N/A N/A Payment or evidence of payment 5